Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Percy is a financial advisor with over 40 years of experience in the financial services industry. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and previously worked at PaineWebber Incorporated, Midwest Securities Co., Kidder, Peabody & Co. Incorporated, Reinholdt & Gardner Incorporated, and R. Rowland & Co., Incorporated. Stephen holds a Series 65 and a Series 63 license. Stephen is licensed to provide financial advice in 27 states. Stephen provides advisory services that include financial planning, pension consulting, educational seminars, portfolio management for businesses, and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
04/26/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRONTENAC MO)
NJ
07/25/1985 - 02/05/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
02/07/1984 - 03/24/1987
MIDWEST SECURITIES CO.
NA
09/17/1981 - 01/18/1984
KIDDER, PEABODY & CO. INCORPORATED
NA
09/20/1977 - 11/11/1981
MIDWEST SECURITIES CO
NA
11/21/1975 - 10/03/1977
REINHOLDT & GARDNER INCORPORATED
NA
05/22/1970 - 05/11/1975
R. ROWLAND & CO., INCORPORATED
IA
Issued 10/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1983
PC - AMEX Put and Call Exam
BC
Issued 05/16/1970
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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